Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Barocas is a financial advisor with Oppenheimer & Co. Inc. Michael has over 40 years of experience in the financial services industry and has been with Oppenheimer & Co. Inc. since 2003. Michael holds the Series 31, 5, 7, 63 and 65 licenses. Prior to Oppenheimer & Co. Inc. Michael worked at CIBC WORLD MARKETS CORP., OPPENHEIMER & CO., INC., L. F. ROTHSCHILD, UNTERBERG, TOWBIN, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, PAINE, WEBBER, JACKSON & CURTIS INC., BLYTH EASTMAN DILLON & CO. INCORPORATED and WHITE, WELD & CO. INCORPORATED. Michael is registered in the following states: Colorado, Connecticut, Delaware, Florida, Georgia, Kansas, Massachusetts, New Hampshire, New Jersey, New York, North Carolina, South Carolina, Texas, Washington and Wisconsin.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
NY
05/17/2017 - Present
Oppenheimer & Co. Inc. (NEW YORK NY)
NY
12/12/1985 - 01/03/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NA
04/03/1988 - 04/18/1995
OPPENHEIMER & CO., INC.
NA
04/21/1980 - 12/19/1985
L. F. ROTHSCHILD, UNTERBERG, TOWBIN
NA
09/26/1978 - 07/13/1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NA
01/31/1980 - 05/18/1980
PAINE, WEBBER, JACKSON & CURTIS INC.
NA
11/22/1978 - 01/31/1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
NA
07/01/1977 - 09/26/1978
WHITE, WELD & CO. INCORPORATED
IA
Issued 09/13/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/26/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/10/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 10/05/1982
Series 5 - Interest Rate Options Examination
BC
Issued 06/18/1977
PC - AMEX Put and Call Exam
BC
Issued 06/18/1977
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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